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Engineering Rock Mechanics
Hoek-Brown Strength
Criterion
Using the GSI, Hoek-Brown
equation can estimate rock
mass strength based on rock
type, rock material strength,
rock mass structure, and
joint surface condition.
1
=
3
+ (m
b
3
ci
+ s
ci
2
)
a
Rock mass parameters is
available by this approach.
Figure after Hoek 1997
Engineering Rock Mechanics
Rock Mass Deformability
Rock mass deformation modulus can be obtained
approximately
from rock
mass quality
(Q and RMR).
Figure after Bieniawski 1978,
Serafimand Pereira 1983
Engineering Rock Mechanics
Rock Discontinuities
Rock mass failure,
particularly in hard rock
tunnelling, is governed by
the existing rock joints and
discontinuities.
Projection graphic tools
and discontinuous
numerical modelling can
be used for the analysis.
Rock Excavation and Support
Basic Rock Tunnel Excavation Approaches
Rock are hard materials to be removed during
tunnelling. At presented, they are excavated
primarily by using explosive or using powerful
excavation machines. Other means are also being
explored.
Rocks need to be broken into suitable sizes to be
transported from tunnel face to outside.
Common Rock Excavation Methods
Drill-and blast (full face, heading and benching)
medium to very hard rocks
Full face excavation with face reinforcement
poor/weak rocks
Sequential excavation and invert closing (NATM)
poor/weak rocks
Partial face machines and roadheader
soft to medium rocks
Full face tunnel boring machine (TBM)
poor, soft to hard rocks
Rock Excavation and Support
4
Tunnel Boring Machine
Cutting the rock full face by pushing and rotating the
cutterhead, equipped with roller cutters.
Rock Excavation and Support
Rock is fragmented by the
roller cutters.
Rock Excavation and Support
Rock properties, e.g.,
material strength,
brittleness and abrasivity,
and joint spacing and
orientation, have great
impact on TBM progress.
TBMs encounter problems
in high fractured and
blocky rock masses, and
mixed faces.
Rock Excavation and Support
Other Mechanised Methods
Cutting rocks with excavation machines for partial face, e.g.,
roadheader.
Rock Excavation and Support
Drill-and-Blast
Drilling charge holes
advancing into rocks
and using explosives to
blast the rocks.
Figures by AtlasCopco
Rock Excavation and Support
Excavation of Soft/Poor Rocks
Excavating small sections and quickly closing of invert.
Rock Excavation and Support
5
Rock Properties related to Rock Excavation
Rock cuttablity/drillability: rock material strength,
abrasivity.
Rock fragmentation: rock strength.
Others: groundwater (and permeability),
deformation (squeezing and swelling), stress (rock
burst and spalling), rock type (for reuse).
Rock Excavation and Support
Excavation Selection and Rock Properties
TBM Low to high strength, high groundwater
possible. Less flexible with changing geology,
problem for squeezing, spalling and rock burst.
Drill-and-blast Variable geology, medium to high
strength. Possible for full face and heading-
benching. Problem with groundwater inflow.
Roadheader As D&B, low to medium strength.
Sequential excavation Only for poor rock mass.
Rock Excavation and Support
Basic Approaches in Rock Support Design
(a) Rock is used as a structural material, i.e., rock
reinforcement instead of rock support.
(b) Design is based primarily on precedents, i.e. empirical
methods.
(c) Design is related to and optimised on rock mechanics
and construction methods.
(d) Numerical methods can be used to predict problem
areas and to extrapolate experience
(e) Monitoring used to verify the design.
Rock Excavation and Support
Rock Support based on Rock Mass Classifications
Design of support and reinforcement for hard rocks
are primarily based on rock mass classifications (Q
or RMR) prior to construction.
(a) Temporally reinforcement is applied immediately after
excavation. It often serves also as permanent
reinforcement.
(b) Further permanent reinforcement is applied later, as
required by rock mass classification.
(c) Monitoring is often done to verify design.
Rock Excavation and Support
Design of Rock Support
1
2
3
4
Q = 1.33, tunnel span 20 m
3
Support for Soft/Poor Rocks
Support design for poor
rock is based on the
interaction between the
displacement of rock mass
surrounding the tunnel and
the load mobilised from the
support material, Rock-
Support Interaction.
displacement
pressure
Displacement,
P
r
e
s
s
u
r
e
r
e
q
u
i
r
e
d
t
o
l
i
m
i
t
d
i
s
p
l
a
c
e
m
e
n
t
,
P
Rock Excavation and Support
6
Deformation accelerates,
additional support installed,
stabilisation achieved.
Rock Excavation and Support
Use of Numerical Methods
(a) Numerical methods can be continuum (FEM) and
discontinuum (DEM) based.
(b) FEM are often used to obtained ground deformation
characteristics. DEM is more specifically for stability for
jointed rock mass.
(c) Numerical models are also used to extrapolate and to
check the empirical designs, and to back calculate.
Rock Excavation and Support
DEM modelling on stability and
support for cavern in hard rock.
FEM modelling on sequential
excavation and support in
poor rock.
Rock Excavation and Support
Selection of Support Design Method
Rock mass classification poor to good rock masses,
best suited for fair to excellent rock masses.
Ground response and observation generally best
suited for poor rock masses.
Rock Excavation and Support
Basic Rock Support Elements
Reinforcement elements: bolts, cables, sprayed
concrete, fibre reinforced spray concrete.
Support elements: steel sets, cast-in concrete,
segmental lining.
Other elements:
waterproof and
drainage
drainage
layer
Concrete
lining
Plastic
membrane
Shotcrete
surface
Rock Excavation and Support
Rock Bolts and Cables
Frictional
End-anchored
Grouted
Rock mechanics
Stress and deformation
of rock mass, rock-bolt
interaction.
Expansion shell anchor bolt
Swellex
Rock Excavation and Support
7
Sprayed Concrete
Wet concrete
Steel fibre reinforced
Other fibre reinforced
Rock mechanics
Cement penetration
and rock blocks
locking, improved
rock mass behaviour.
Rock Excavation and Support
Cast-in Concrete
Steel Sets
Segmental Lining
Rock Excavation and Support
Selection of Rock Support Techniques
Fair to good rock mass bolts, sprayed concrete
Poor rock mass steel set, sprayed concrete, cast-
in concrete
Squeezing rock yielding steel sets, sprayed
concrete, cast-in concrete
Rock Excavation and Support
A rock cavern is a man-
engineered cave, for a
specific application.
There are over 20,000
caverns built around the
world, for a variety of
applications, ranging from
storage of oil and gas to
sport and concert halls.
Design and Construction of Caverns
Suitable Geology
Rock caverns are generally unsupport openings.
They are generally constructed in competent rock
masses so the rock masses can be self-supported.
Most caverns are constructed in granitic and
crystalline rocks. Limestone and strong clastic
sedimentary rocks are also possible hosts.
Design and Construction of Caverns
Basis of Design
a) The rock is used as a structural material.
b) Geotechnical design is based primarily on precedents, i.e.
empirical methods.
c) The design is related to construction procedures.
d) The design is optimised on the basis of rock mechanics,
construction methods and usage, etc.
e) Numerical methods can be used to predict problem areas
and to extrapolate experience.
f) Monitoring used to verify the design.
Design and Construction of Caverns
8
Design Sequence (i)
a) Identification of the geometrical and physical
requirements for the cavern.
b) Identification of areas with geology suitable for cavern
construction.
c) Evaluation of the topography in relation to the
geometrical requirements.
d) Location of suitable access to the underground facility.
e) Evaluation of geological and hydrogeological data.
Design and Construction of Caverns
Design Sequence (ii)
f) Determination of optimal location, orientation, lay-out
and geometry for the cavern or cavern system based on
the above factors.
g) Optimisation of the design with respect to cavern use
and construction methods, which may include
modification of the cavern use.
h) Evaluation of rock support measures.
Design and Construction of Caverns
Design Consideration on Location and Orientation
a) Adequate rock cover.
b) Avoid weakness zones.
c) Cross weakness zones in the shortest possible distance.
d) Avoid adverse orientation relative to major joint sets.
e) Make favourable use of groundwater pressures.
f) Avoid rock with abnormally low stresses, or with very
high stresses.
Design and Construction of Caverns
Minimum Rock Cover (i)
The rock cover should be sufficient so that the roof
and walls will be self-supporting. The minimum
rock cover is determined from many factors:
a) the quality of the geological information and the rock
properties,
b) thickness of superficial deposits and depth of weathering,
c) the cavern span and,
d) cost implications.
Design and Construction of Caverns
Minimum Rock Cover (ii)
As a general rule, the minimum cover of strong
rock should be not less than half the cavern span.
In general, reduced cover increases the amount and
cost of ground investigation and rock support work
and this cost must be offset by advantages in
adopting reduced cover. Reduced rock cover is
normally limited to small areas, such as the section
of cavern closest to the portal.
Design and Construction of Caverns
Weakness Zones
Weakness zones can be formed by weak rocks,
faults and deeply weathering, with thickness from
a few centimetres to several hundred metres. In
dealing with weakness zones,
a) weakness zones must be identified,
b) if possible, avoid weakness zone,
c) minimise excavation in weakness zone,
d) consider the orientation of the weakness zones.
Design and Construction of Caverns
9
Joints
The orientation of joints with respect to the axis of
the excavation influence the stability of a cavern.
The orientation of joints influence the amount of
overbreak.
Optimization of excavation direction with respect
to joint orientation can be achieved. E.g., the
longitudinal axis of the cavern is ideally oriented
normal to the line of intersection of the two
dominant joint sets.
Design and Construction of Caverns
Groundwater
The location of the groundwater surface and
predictions of changes created by the underground
openings can be important considerations in
determining the elevation of a cavern scheme.
a) Groundwater inflow can be problem for excavation.
b) Most cavern applications need dry environment.
c) Water curtains are used to confine the oil and gas in
caverns.
Design and Construction of Caverns
In Situ Stresses
In situ stresses influence the stability of excavations.
a) In generally, increased stresses give increased stability.
b) Excessive high in situ stresses influence can cause
strength failure of cavern.
c) Stresses in hard rocks are normally anisotropic, can
influence cavern stability.
d) For high stresses, cavern section shape can be optimised.
Design and Construction of Caverns
Cavern Layout and Shape (i)
The design of cavern geometry and layout of a
system of caverns is normally based on:
a) Requirements given by the cavern usage.
b) Costing of excavation and support operations.
c) Geometry of the opening, i.e. the total height and arch
shape, influences the cost of excavation and support.
Design and Construction of Caverns
Cavern Layout and Shape (ii)
The main parameters defining cavern layout and
geometry are the cavern size and shape and the
spacing between caverns. They are primarily based
on empirical guidelines from previous experiences.
Large span caverns, caverns in difficult ground
conditions and multi-cavern schemes are
commonly subjected to stability and stress
distribution analyses using various methods.
Design and Construction of Caverns
Design of Cavern Shape (General)
Rock mass is discontinuous of low tensile strength.
The design of shape is to evenly distribute the
compressive stresses in the surrounding rock mass:
a) Use an arched roof;
b) Avoid intruding corners;
c) Optimise cross-section sizes to the lowest combined
excavation and support costs;
d) Optimise cross-section shape to the best stress
distribution.
Design and Construction of Caverns
10
Design of Cavern Shape (Roof)
Roof arch in generally is design to have height:span
of 1:5, and,
a) The roof shape is not commonly altered to suit particular
geological structures;
b) Height may be reduced if the dominant joints have a
shallow dip;
c) Usually height will not be increased as economically not
justified;
d) Increasing the roof arch height only if the space under
the arch for ducts and services is needed.
Design and Construction of Caverns
Design of Cavern Shape (Wall)
Cavern walls are normally vertical. Wall stability is
a function of wall height, the in situ stresses and
the orientation and properties of the principal joint
sets.
a) The flat wall surface has no arching action and high walls
tend to be unstable;
b) Major joints and seams can dominate wall stability and
can affect the chosen wall height;
c) The cost and scale of stabilising measures can increase
substantially with wall height;
Design and Construction of Caverns
Design of Cavern Shape (Wall)
d) Joints with shallow dip favour wall stability as the
dominating vertical stresses in the walls increase joint
friction;
e) Steeply dipping joints with strikes parallel to the wall
reduce stability as the horizontal stresses on the joints are
small.
Design and Construction of Caverns
Design of Cavern Shape (Stress)
Anisotropic and high stresses may have to be taken
into account in cavern design.
a) For exceptionally high stresses, the shape of the cross-
section should be optimised;
b) Optimisation of shape can be analysed based on stress
condition;
c) There are cases that cavern cross-section reshaped due to
anisotropic high stresses.
Design and Construction of Caverns
Design of Cavern Horizontal Spacing (Pillar Width)
Pillar width depends primarily on the rock quality,
the discontinuity orientation, the cavern spans and
heights.
a) Pillar widths are normally equal to 0.51.0 full cavern
span or height, whichever is the greater;
b) Pillar widths are normally determined on the basis of
judgement and simple analysis, e.g., possible sliding on
unfavourable joints;
c) Narrow pillars may be necessary because of site
availability and other factors.
Design and Construction of Caverns
Design of Cavern Vertical Spacing (i)
Vertical separation in generally should not be less
than span or height. It depends on the rock quality,
the orientation of the discontinuities, the cavern
dimensions, and in situ stresses.
a) It generally requires detail analysis and modelling;
b) It should consider overbreak and loosening of rock in
both upper and lower caverns;
c) It should consider the risk of outfall of rock may cause
stability of upper cavern;
Design and Construction of Caverns
11
Design of Cavern Vertical Spacing (ii)
d) It should consider the cost for blast and support;
e) The stability of the separating rock may be improved by
pre-grouting and bolting from either the upper or lower
cavern;
f) Excavation of the upper caverns before the lower caverns
is recommended. This avoids the risk of damage to the roof
support installed in the lower cavern by vibrations from the
heavy charges used in the bottom of the upper caverns.
Design and Construction of Caverns
Basis of Cavern Support Design
a) The rock is used as a structural material, i.e.,
primarily reinforcement
b) Support design is based rock mass quality and
precedents, i.e. empirical methods
c) Numerical methods can be used to predict
problem areas and to extrapolate experience
d) Monitoring used to verify the design
Design and Construction of Caverns
Cavern Support Design Approach
Preliminary design of rock support may be based
on rock classifications (Q or RMR), to provide the
most suitable types of support for the various rock
classes that have been identified.
Temporally reinforcement (often bolts and
shotcrete in hard rock tunnelling) applied
immediately after excavation can also serve as
permanent reinforcement.
Further permanent reinforcement is applied (bolts
and shotcrete) later.
Design and Construction of Caverns
Cavern Support Design
Roof: Use Q-support design chart directly.
Wall: For Q > 10, Q
wall
= 5 Q
For 0.1 < Q < 10, Q
wall
= 2.5 Q
For Q < 0.1, Q
wall
= Q
Design and Construction of Caverns
Design of Rock Support
1
2
3
4
Q = 1.33, tunnel span 20 m, wall 8 m
3
Wall
Roof
Cavern Support Design
Temporary support: use the following adjustment,
Increase ESR to 1.5 ESR or
Increase Q to 5 Q (applicable to roof and wall).
Maximum unsupported span = 2 ESR Q
0.4
Example: Q = 10, ESR = 1, maximum unsupported
span = 5 m
Design and Construction of Caverns
12
Construction Method
Rock caverns are generally excavated by drill-and-
blast method, and supported by bolts and
shotcrete.
Cavern excavation is usually done by:
face blasting with horizontal drillholes for
tunnelling or top heading excavation,
benching with horizontal drillholes, or
benching with vertical drillholes.
Design and Construction of Caverns
A good rock tunnelling practice can be achieved by:
Good knowledge of rock properties through
appropriate site investigation;
Good rock mechanics analysis, including using
physical and numerical modelling, to anticipate the
response of rock mass during and after construction;
Good engineering practice supported by monitoring
and risk control exercises.
Design and Construction of Caverns